Manager, Institutional Equity/Options Trading Desk - Charles Schwab - Phoenix, AZ
(2018-09 - 2026-09)
- Executed ETF and Option orders exceeding market size through RFQ process using TRAFiX, Bloomberg, and Tradeweb.
- Supported investment advisors in executing large orders and those exceeding market conditions, reducing potential price impact.
- Employed various algorithm suites from market centers to enhance trading performance.
- Educate advisors on best practices for handling large orders and key internal order management functions that support their workflow.
- Assisted internal departments by addressing trading questions and resolving trade-related situations.
Senior Specialist, Exchange Support Services - Charles Schwab - Phoenix, AZ
(2017-09 - 2018-09)
- Supported equity and options order execution for clients, maintaining accuracy and timeliness.
- Assessed market impact of large block trades by consulting market vendors.
- Monitored reject queues and processed order exceptions to reduce delays.
- Reviewed reconciliation reports, including corporate action adjustments for open equity and option orders, maintaining accuracy and compliance.
- Responded to email and phone requests from internal representatives, resolving inquiries quickly.
- Partnered with team to reconcile client orders affected by downtime events.
Senior Equity Trader - LPL Financial
(2006-03 - 2017-09)
- Assisted financial advisors and money managers with execution of institutionally sized orders on high volume trading desk
- Collaborated with market centers and exchanges to efficiently resolve trade and settlement issues
- Strong knowledge of trading related regulatory systems and requirements
- Reviewed and approved large trades submitted by junior members of the desk to ensure compliance and accuracy
- Managed equity trading in a high profile project that included account rebalancing software.
Trading Analyst - LPL Financial
(2005-03 - 2006-03)
- Reviewed and prepared daily/weekly equity and fixed income reports, including exception reports for best execution, UIT breakpoint analysis, and fixed income markup and TRACE comparison.
- Reviewed trade blotter daily for accuracy and thoroughness, confirming trade details aligned with operational standards.
- Oversaw money manager inventory accounts, ensuring accuracy of position records.
Equity Trader - Knight Capital Markets
(1999-05 - 2002-07)
- Managed institutional and retail order flow and maintained open order limit book to optimize trade execution
- Maintained profitability through fundamental and technical analysis to inform trading decisions
- Evaluated and prepared daily trading strategy to select, manage, and exit trades, maximizing profits and mitigating risks
- Utilize market knowledge to make proprietary trading decisions
- Performed inter-market trading for multiple securities for more than 30 NYSE listed securities
